RegActions records a disclosed FCA monetary penalty of £69,600 dated 4 Oct 2022 for Stephen Tomlin.
Case facts
| Firm or individual | Stephen Tomlin |
|---|---|
| Regulator | Financial Conduct Authority (FCA) |
| Date | 4 Oct 2022 |
| Penalty | £69,600 |
| RegActions breach classification | GOVERNANCE |
| Public case ID | 25da51cb-ebb7-4727-a7b0-4d38ed3fd1bd |
Case summary
This Final Notice refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty and prohibition.
Official evidence
This page meets the public case-page evidence threshold.
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Scope
This page describes one source-linked monetary record. RegActions excludes non-monetary outcomes and amounts awaiting review from FCA fine totals. The FCA publication remains the authoritative source.